We're fully up to date with all the latest developments in financial services regulation, enabling you to stay compliant and anticipate future changes.
Financial services regulatory
Financial services regulation is constantly evolving - we keep you ahead of the curve.
Our team are experts in a wide range of both contentious and advisory matters ranging from investigations and enforcement, transaction regulatory support and employment issues, to crypto, NFT and AI.
Our services
Investigations & enforcement
With extensive experience of advising on investigations and enforcement issues for clients including banks and insurers, we can support you with:
- Matters with multiple complexities including SMF misconduct
- Breaches of reporting obligations
- Compliance with provisions applicable to listed companies
- Settlement negotiations
- Regulatory Decisions Committee meetings
- Upper Tribunal hearings
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Transaction regulatory support
We act for buyers and sellers on mergers, acquisitions and corporate restructuring. Our team also advises on regulatory notifications and approval processes as well as on compliance risk allocation in transaction documentation. Advising on change in control, SPA clauses and legal due diligence reviews is a particular area of expertise.
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Advertising & financial promotions
Our expert team advises both financial services firms and unregulated companies, such as marketing platforms, on regulatory compliance for financial promotions.
This is a complex area of regulation which is continually evolving; our team has in-depth knowledge of the latest developments as well as an understanding of the common pitfalls.
We advise on advertising policies, rules applicable to specific types of financial promotion and financial promotions requiring approval, plus the availability of relevant exemptions.
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Employment: SMCR, remuneration & non-financial misconduct
Our lawyers have particular expertise in relation to the Senior Managers and Certification Regime (SMCR), employment contract terms, remuneration, fitness and propriety, whistleblowing and regulatory references.
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Cryptoassets, AI & fintech
Our team specialise in crypto assets, including NFTs, and advise a wide range of firms on all aspects of legal and regulatory compliance.
We can advise you on offshore structuring to target the UK market and on getting registered with the FCA to operate compliantly in the UK. We can also advise on how to operate in the UK to remain outside the scope of regulation. Our clients include technology companies, retailers and brands, as well as games companies.
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Compliance advisory
We support a wide variety of businesses, including financial services firms and their third-party suppliers, on regulatory requirements applicable to their contracts. Our expertise ranges from outsourcing contracts to customer terms; we can also advise on appointed representative contracts and structures.
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